Handoff Register

Every step pattern · decision

Classify, code or categorise a record

Classification against a written scheme with examples is a rule. Without the scheme it is judgement.

keep
judgement with no written rule; hand over once the line names the rule or threshold that decides it
decision
a rule applied to a record
none typical
usual systems
As it is usually written
Categorise each request by type
What you lose if it is handed over
The interpretation the classifier brings. If there is no written scheme, the classification is that person's opinion.
First move
Write the scheme with one example per category, log every classification against it, and review the categories most often changed later.

What it is evidence for

Clause references quoted from a human-verified corpus; each code links to its framework.

Decisions with no written rule ISO 9001:2015 7.1.6 · ISO 9001:2015 7.5.1 · ISO 9001:2015 8.1 · ISO 9001:2015 8.5.1 · ISO/IEC 42001:2023 A.9.4 · ISO/IEC 42001:2023 A.6.2.2
ISO 9001:2015 7.1.6 Organizational knowledge

The organization determines the knowledge necessary for the operation of its processes and to achieve conformity of products and services, maintains it, and makes it available to the extent necessary. When addressing changing needs and trends, the organization considers its current knowledge and determines how to acquire or access any additional knowledge an...

Evidence an auditor accepts: Identification of critical knowledge per process; Mechanisms to capture and share knowledge (lessons learned, procedures, mentoring); Evidence of planning for knowledge loss (succession, retirement) and acquisition
ISO 9001:2015 7.5.1 General

The organization's quality management system includes the documented information required by the standard and the documented information determined by the organization as being necessary for the effectiveness of the system. The extent can differ according to the size of the organization and its type of activities, processes, products and services, the comple...

Evidence an auditor accepts: Master list of system documents and records; Mapping of documented information to requirements; Rationale for the extent of documentation
ISO 9001:2015 8.1 Operational planning and control

The organization plans, implements and controls the processes needed to meet the requirements for the provision of products and services and to implement the actions determined in Clause 6, by determining the requirements for the products and services; establishing criteria for the processes and for acceptance of products and services; determining the resour...

Evidence an auditor accepts: Quality plans or process control plans with criteria and acceptance criteria; Records demonstrating processes carried out as planned; Change control records for operational changes
ISO 9001:2015 8.5.1 Control of production and service provision

The organization implements production and service provision under controlled conditions, including as applicable the availability of documented information defining the characteristics of products, services and activities and the results to be achieved; the availability and use of suitable monitoring and measuring resources; monitoring and measurement activ...

Evidence an auditor accepts: Work instructions and specifications at the point of use; In-process monitoring and measurement records; Validation records for special processes (welding, sterilisation, software deployment)
ISO/IEC 42001:2023 A.9.4 Intended use of the AI system

The organization shall ensure that the AI system is used according to the intended uses of the AI system and its accompanying documentation.

Evidence an auditor accepts: Intended use statements; Use case approval records; Monitoring of use
ISO/IEC 42001:2023 A.6.2.2 AI system requirements and specification

Requirements and specifications shall be defined for new or substantially modified AI systems, including responsible AI requirements.

Evidence an auditor accepts: Requirements specifications; Acceptance criteria; Functional and non-functional requirements
Hand-overs at the end of the process with nothing after them ISO/IEC 42001:2023 A.9.2 · ISO/IEC 42001:2023 A.9.3 · ISO/IEC 42001:2023 A.6.2.5 · ISO/IEC 42001:2023 A.6.2.6 · ISO/IEC 42001:2023 A.6.2.8 · ISO/IEC 42001:2023 A.5.4 · ISO 9001:2015 8.5.1
ISO/IEC 42001:2023 A.9.2 Processes for responsible use of AI systems

The organization shall define and document processes for the responsible use of AI systems, including processes for the use by employees of AI systems provided by third parties.

Evidence an auditor accepts: Responsible use procedure; Acceptable use policy for AI; Training records
ISO/IEC 42001:2023 A.9.3 Objectives for responsible use of AI system

The organization shall identify and document objectives to guide the responsible use of AI systems.

Evidence an auditor accepts: Responsible use objectives; Objectives covering human oversight, escalation, prohibited uses; Linkage to risk treatment
ISO/IEC 42001:2023 A.6.2.5 AI system deployment

The organization shall document a deployment plan and ensure requirements are met before deployment.

Evidence an auditor accepts: Deployment plans; Go-live checklists; Approval records
ISO/IEC 42001:2023 A.6.2.6 AI system operation and monitoring

AI systems shall be operated and monitored according to organizational and operational requirements throughout their lifetime. Operational guidance shall be available to operators.

Evidence an auditor accepts: Operations runbooks; Monitoring dashboards; Incident logs
ISO/IEC 42001:2023 A.6.2.8 AI system event logging

Event logs shall be generated and recorded during AI system operations to enable monitoring, accountability, and incident investigation.

Evidence an auditor accepts: Logging standards; Log samples; Log retention policy
ISO/IEC 42001:2023 A.5.4 Assessing AI system impact on individuals or groups

The organization shall assess and document the potential impacts of AI systems to individuals or groups of individuals throughout the system's life cycle.

Evidence an auditor accepts: Per-system impact assessments; Fairness analysis; Privacy impact (link to PIA where relevant)
ISO 9001:2015 8.5.1 Control of production and service provision

The organization implements production and service provision under controlled conditions, including as applicable the availability of documented information defining the characteristics of products, services and activities and the results to be achieved; the availability and use of suitable monitoring and measuring resources; monitoring and measurement activ...

Evidence an auditor accepts: Work instructions and specifications at the point of use; In-process monitoring and measurement records; Validation records for special processes (welding, sterilisation, software deployment)

Do this for your whole process

Paste the steps of the process this belongs to and get this classification for every line at once, with the delegation map, the findings and the clauses the register is evidence for. First 12 steps free, no account.

Classify my process

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